MH
Michael B. Hadley
PARK AVENUE SECURITIES LLC
LAYTON, UT
Some features on this profile are disabled
CRD#: 4179586
MH
Professional summary
Michael B Hadley, who also goes by Michael Benson Hadley, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Layton, Utah.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, Series 79TO, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Benson Hadley
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael B Hadley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael B Hadley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 17, 2022 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
LAYTON, UT
Current
November 17, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10 Hudson Yards, New York, NY 10001RIA
BD
CRD#: 46173
New York, NY
Past
February 2, 2015 - November 11, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
January 30, 2015 - November 11, 2022
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
June 13, 2013 - December 19, 2014
ALPINE SECURITIES CORPORATION
BD
CRD#: 14952
SALT LAKE CITY, UT
Past
April 12, 2012 - June 28, 2013
MORGAN STANLEY
RIA
CRD#: 149777
SOUTH JORDAN, UT
Past
April 12, 2012 - June 28, 2013
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 14, 2011 - April 19, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SALT LAKE CITY, UT
Past
April 13, 2011 - April 19, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SALT LAKE CITY, UT
Past
March 31, 2010 - April 12, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SOUTH JORDAN, UT
Past
June 1, 2009 - April 12, 2011
MORGAN STANLEY
BD
CRD#: 149777
SOUTH JORDAN, UT
Past
October 28, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SOUTH JORDAN, UT
Past
May 18, 2006 - February 29, 2008
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
June 28, 2000 - January 22, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 28, 2000 - January 22, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/17/2022)
IAR
Alabama(11/17/2022)
RR
Alaska(11/17/2022)
IAR
Alaska(12/19/2022)
RR
Arizona(11/17/2022)
IAR
Arizona(12/1/2022)
RR
Arkansas(11/17/2022)
IAR
Arkansas(11/17/2022)
RR
California(11/17/2022)
IAR
California(11/17/2022)
RR
Colorado(11/17/2022)
IAR
Colorado(11/22/2022)
RR
Connecticut(11/17/2022)
IAR
Connecticut(11/17/2022)
RR
Delaware(11/17/2022)
IAR
Delaware(11/21/2022)
RR
District of Columbia(11/17/2022)
RR
Florida(11/17/2022)
IAR
Florida(11/18/2022)
RR
Georgia(11/17/2022)
IAR
Georgia(11/21/2022)
RR
Hawaii(11/17/2022)
IAR
Hawaii(3/14/2023)
RR
Idaho(11/17/2022)
IAR
Idaho(11/17/2022)
RR
Illinois(11/17/2022)
IAR
Illinois(12/22/2022)
RR
Indiana(11/17/2022)
IAR
Indiana(11/17/2022)
RR
Iowa(11/17/2022)
IAR
Iowa(11/28/2022)
RR
Kansas(11/17/2022)
IAR
Kansas(11/17/2022)
RR
Kentucky(11/17/2022)
IAR
Kentucky(11/18/2022)
RR
Louisiana(11/17/2022)
IAR
Louisiana(11/18/2022)
RR
Maine(11/17/2022)
IAR
Maine(11/17/2022)
RR
Maryland(11/17/2022)
IAR
Maryland(11/21/2022)
RR
Massachusetts(11/17/2022)
RR
Michigan(11/17/2022)
IAR
Michigan(11/18/2022)
RR
Minnesota(11/17/2022)
IAR
Minnesota(11/29/2022)
RR
Mississippi(11/17/2022)
IAR
Mississippi(11/23/2022)
RR
Missouri(11/17/2022)
IAR
Missouri(11/18/2022)
RR
Montana(11/17/2022)
IAR
Montana(11/17/2022)
RR
Nebraska(11/17/2022)
IAR
Nebraska(11/17/2022)
RR
Nevada(11/17/2022)
IAR
Nevada(12/1/2022)
RR
New Hampshire(11/17/2022)
IAR
New Hampshire(11/18/2022)
RR
New Jersey(11/17/2022)
IAR
New Jersey(11/17/2022)
RR
New Mexico(11/17/2022)
IAR
New Mexico(11/22/2022)
RR
New York(11/17/2022)
RR
North Carolina(11/17/2022)
IAR
North Carolina(11/23/2022)
RR
North Dakota(11/17/2022)
IAR
North Dakota(11/29/2022)
IAR
Ohio(11/17/2022)
RR
Ohio(11/18/2022)
RR
Oklahoma(11/17/2022)
IAR
Oklahoma(12/5/2022)
RR
Oregon(11/17/2022)
IAR
Oregon(11/18/2022)
RR
Pennsylvania(11/17/2022)
IAR
Pennsylvania(11/18/2022)
RR
Puerto Rico(11/17/2022)
IAR
Puerto Rico(11/28/2022)
RR
Rhode Island(11/17/2022)
IAR
Rhode Island(11/18/2022)
RR
South Carolina(11/17/2022)
IAR
South Carolina(11/22/2022)
RR
South Dakota(11/17/2022)
IAR
South Dakota(11/30/2022)
RR
Texas(11/17/2022)
IAR
Texas(11/21/2022)
RR
Utah(11/17/2022)
IAR
Utah(11/21/2022)
RR
Vermont(11/17/2022)
IAR
Vermont(11/17/2022)
RR
Virgin Islands(11/17/2022)
IAR
Virgin Islands(11/18/2022)
RR
Virginia(11/17/2022)
IAR
Virginia(11/22/2022)
RR
Washington(11/17/2022)
IAR
Washington(11/22/2022)
RR
West Virginia(11/17/2022)
IAR
West Virginia(11/28/2022)
RR
Wisconsin(11/17/2022)
IAR
Wisconsin(11/17/2022)
RR
Wyoming(11/17/2022)
IAR
Wyoming(11/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
